摘要
自券商创新大会以来,证券公司创新业务迅速发展,证券行业迎来了从传统业务向创新业务转型的新机遇。但是,在新业务发展和新产品推出的同时,合规风险管理也暴露出一些问题。合规风险管理的职责不清、独立性不强、方式单一等问题制约了我国证券公司合规风险管理的有效性。因此,充分认识业务创新与合规风险管理的关系,熟悉创新背景下合规风险的特征,构建"大合规"系统,有助于提高证券公司合规风险管理水平,为创新业务发展保驾护航。
Since the innovation conference for securities companies was held, the innovative business of securi- ties companies has developed quickly. Securities industry has ushered in new opportunities for its transformation from the traditional business to innovative business. However, with the development of new business and new products, some problems are exposed in compliance risk management. The responsibilities of compliance risk management are un- clear. Independence is not strong and management style is single, which restricts the effectiveness of compliance risk management for China＇ s securities companies. Therefore, a full understanding of the relationship between business innovation and compliance risk management should be achieved. And securities companies should be familiar with the characteristics of the compliance risk in the context of innovation, and construct the ＂large compliance＂ system, which will help to improve the level of compliance risk management of securities companies and escort for innovative business development.
出处
《金融发展研究》
2013年第7期74-79,共6页
Journal Of Financial Development Research
关键词
金融创新
合规风险
“大合规”系统
financial innovation, compliance risk, ＂large compliance＂ system
